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This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
REQUEST FOR COMMENT
Principal Pre-Use Approval of Member
Correspondence
Comment Period Expires May 27, 2005
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NASD Rules 2211 and 3010
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NASD
1. Real-time TRACE Data (Vendor Agreement)
Firms wishing to subscribe to either the Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Services (ATDS), Securitized Products Dissemination Service (SPDS), and/or 144A Bond Trade Dissemination Services (144A) must complete and sign the TRACE Vendor Agreement. The executed Agreement should be submitted electronically to:
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
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Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
INFORMATIONAL
USA PATRIOT Act
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Executive Summary
On November 19, 2002, the Department of the Treasury and its bureau the Financial Crimes Enforcement Network (FinCEN) advised associations
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
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IM-8310-2
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U-4
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The Securities and Exchange
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Executive Summary
The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®)
